KEY COMPONENTS IN THE

MEASUREMENT OF SAFETY CULTURE

Patrick Sherry, PhD

National Center for Intermodal Transportation

Denver Transportation Institute

University of Denver

Denver, CO

June 9, 2018

ORGANIZATION OF PRESENTATION

What is safety culture?

Why is safety culture important?

How can we measure it?

What do we do with this information?

How do we create safety culture?

Next steps

STATEMENT OF THE PROBLEM

The issue of safety culture as a key component in

the maintained and facilitation of an

acceptable world class safety record. Many

examples of how lapses in safety culture of operations have contributed to major accidents

have been described in the literature.

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ORGANIZATIONAL CULTURE

Study of Culture – Margaret Mead

Person Environment Interaction – Kurt Lewin

Edgar Schein - Defined organizational culture

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DEFINITIONS OF CORPORATE CULTURE

Definition Author‘in its most basic form is an understanding of “the way

we do things around here.” Culture is the powerful yet

ill-defined conceptual thinking within the organization

that expresses organizational values, ideals, attitudes and

beliefs.’

(Cunningham & Gresso, 1994)

‘consists of “learned systems of meaning, communicated

by means of natural language and other symbol systems,

having representational, directive, and affective

functions, and capable of creating cultural entities and

particular senses of reality.”’

(D’Andrade, 1996)

‘the learned patterns of behavior and thought

characteristic of a societal group.’

(Harris, 2004)

‘We will restrict the term culture to an ideational system.

Cultures in this sense comprise systems of shared ideas,

systems of concepts and rules and meanings that underlie

and are expressed in the ways that humans live. Culture,

so defined, refers to what humans learn, not what they do

and make.’

(Kessing & Strathern, 1998)

‘the set of learned behaviors, beliefs, attitudes, values,

and ideals that are characteristic of a particular

society or population.’

(Ember & Ember, 2001)

‘All aspects of human adaptation, including technology,

traditions, language, and social roles. Culture is learned

and transmitted from one generation to the next by

nonbiological means.’

(Jurmain et al., 2000)

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WHAT IS SAFETY CULTURE?

“how we do things around here”

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DEFINITIONS OF SAFETY CULTURE

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UK HEALTH & SAFETY EXECUTIVE (1993)

The product of individual and

group values, attitudes,

perceptions, competencies, and

patterns of behavior that

determine the commitment to,

and the style and proficiency of,

an organization’s health and

safety management.

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Barnes (2009) • (NRC) The values, attitudes, motivations and knowledge that affect the

extent to which safety is emphasized over

competing goals in decisions and behavior.

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Guldenmund (2000) • Those aspects of the organizational culture which will impact on

attitudes and behavior related to increasing or

decreasing risk.

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SAFETY SUBCULTURES

Many definitions of safety culture (e.g. ASCNI, 1993) present a view of employees having a shared set of safety values and beliefs.

Studies have found the presence of subcultures within an organization which suggest an absence of a cohesive safety culture. Subcultures are likely to develop when employees within the same organization experience different working conditions.

Work groups within an organization are likely to view risk differently depending on the type of work they do.

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DOT DEFINITION

The DOT Safety Council has developed the following definition of safety culture intended to

support development of a broader

departmental policy on safety culture:

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ELEMENTS OF SAFETY CULTURE

1. Leadership is Clearly Committed to Safety

2. Open and Effective Communication Exists Across the Organization

3. Employees Feel Personally Responsible for Safety

4. The Organization Practices Continuous Learning

5. The Work Environment is Safety Conscious

6. Reporting Systems are Clearly Defined and Not Used to Punish Employees

7. Decisions Demonstrate that Safety is Prioritized Over Competing Demands

8. Employees and the Organization Work to Foster Mutual Trust

9. The Organization Responds to Safety Concerns Fairly and Consistently

10. Safety Efforts are Supported by Training and Resources

16From FRA - DOT/FRA/OR-17/09 - 2017

FACTORS AFFECTING SAFETY CULTURE

Physical Environment

Psychological Factors

Financial Resources &

Considerations

Leads to

Workplace culture significantly impacts

organizations operating

within high-risk industries.

IMPACT OF SAFETY CULTURE

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WHAT IS SAFETY CULTURE?

First mentioned in a report about Chernobyl

The Chernobyl disaster highlighted the importance of safety culture and the effect of managerial and human factors on safety performance.[4][5]

The term ‘safety culture’ was first used in INSAG’s (1988) ‘Summary Report on the Post-Accident Review Meeting on the Chernobyl Accident’ where safety culture was described as:

"That assembly of characteristics and attitudes in organizations and individuals which establishes that, as an overriding priority, nuclear plant safety issues receive the attention warranted by their significance."

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IMPACT OF SAFETY CULTURE

Workplace calamities are often related to poor safety culture

Safety culture is important because it has been shown to reduce the prevalence of workplace accidents.

Companies with strong safety cultures are believed to be the most protected against unforeseen accidents.

CHERNOBYL

Health Effects from the Accident

The Chernobyl accident's severe radiation effects killed 28 of the

site's 600 workers in the first four months after the event. Another

106 workers received high enough doses to cause acute radiation

sickness. Two workers died within hours of the reactor explosion

from non-radiological causes. Another 200,000 cleanup workers in

1986 and 1987 received doses of between 1 and 100 rem (The

average annual radiation dose for a U.S. citizen is about .6 rem).

Chernobyl cleanup activities eventually required about 600,000

workers, although only a small fraction of these workers were

exposed to elevated levels of radiation. Government agencies

continue to monitor cleanup and recovery workers' health.

(UNSCEAR 2008, pg. 47, 58, 107, and 119)

- https://www.nrc.gov/reading-rm/doc-collections/fact-

sheets/chernobyl-bg.html

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After the accident, officials closed off the area within 30

kilometers (18 miles) of the plant, except for persons with

official business at the plant and those people evaluating

and dealing with the consequences of the accident and

operating the undamaged reactors. The Soviet (and later on,

Russian) government evacuated about 115,000 people

from the most heavily contaminated areas in 1986, and

another 220,000 people in subsequent years (Source:

UNSCEAR 2008, pg. 53).

CLAPHAM JUNCTION On 12 December 1988, a crowded passenger train

crashed into the rear of another train that had

stopped at a signal, just south of Clapham Junction

railway station in London, and subsequently

sideswiped an empty train travelling in the opposite

direction. A total of 35 people were killed in the

collision, while 484 were injured.[1]

The collision was the result of a signal failure caused

by a wiring fault. New wiring had been installed,

but the old wiring had been left in place and not

adequately secured. An independent inquiry,

chaired by Anthony Hidden, QC, found that the

signalling technician responsible had not been told

his working practices were wrong and his work had

not been inspected by an independent person. He

had also performed the work during his 13th

consecutive week of seven-day workweeks. Critical of the health and safety culture within British

Rail at the time,

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RECENT EVENTS

Lac Megantic

Canadian runaway oil train disaster blamed on ‘weak safety culture,’ poor oversight –Washington Post

“We now know why the situation developed over time,” Tadros said. “It was a weak safety culture at MM&A, poor training of employees and tanker cars that didn’t offer enough protection.”

https://en.wikipedia.org/wiki/Lac-M%C3%A9gantic_rail_disaster

Metro North

Poor 'safety culture' blamed for train crashes

Metro-North Railroad management failed to follow its own safety protocols, according to a National Transportation Safety Board investigation.

WMATA

NTSB Cites Track Circuit Failure and WMATA's Lack of a Safety Culture in 2009 Fatal Collision7/27/2010

Amtrak – Philadelphia

(NTSB) blamed for a deadly train crash that killed two workers near Philadelphia last year.

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TYPES OF ACCIDENTS

Individual accidents occur when an individual commits an

error independent of organizational influences. An example

of this type of accident would be an employee who follows

company prescribed procedures, but loses his balance and

falls off a ladder (Sumwalt, 2012).

Organizational accidents, on the other hand, “have multiple

causes involving many people operating at different levels of

their respective companies…[and] can have devastating

effects on uninvolved populations, assets and the

environment” (Reason, 1997, p. 1).

“Organizational accidents arise from the concatenation of

several contributing factors originating at many levels of the

system” (Reason, 2004, p. ii29).

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RESEARCH DATA

The relationship between safety climate and injury rates across industries:

the need to adjust for injury hazards.

In a study of 33 companies, the association between injury and claims

were used to test the predictability of safety climate on injury rates,

Findings: Company level safety climate were negatively and significantly associated with injury rates.

Accid Anal Prev. 2006 May;38(3):556-62. Epub 2006 Jan 23.

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Testing the effect of safety climate on

micro-accidents in manufacturing

jobs.

Safety Climate perceptions

significantly predicted accident

records during the 5-month recording

period that followed climate

measurement.

The study established an empirical link

between safety climate perceptions

and objective injury data.

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Zohar, Dov .Journal of Applied Psychology, Vol 85(4), Aug 2000, 587-596.

NEED A METRIC TO

MANAGE AGAINST

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‘You can't manage what you can't measure’ -

Drucker

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Summary of the development

of instrument and initial

reliability & validity statistics.

Available online at:

http://www.du.edu/ncit

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BENEFITS OF SAFETY CULTURE ASSESSMENT

Assessment of Safety Culture

Can lead to a more complete adoption of overall set of

attitudes , beliefs, and code of conduct with respect to

workplace safety practices. In reality organizations can

produce reams of rule books with instructions, standards and

recommendations. But, when it comes to decision making and

thoughtful purposeful acts the beliefs, norms and ideas

contained within a commonly shared culture will fill gaps and

lead to motivation to behavior according to a consistently

higher code of conduct.

We can see evidence in the failure of culture or a lax culture

Some research suggests that differences in culture and beliefs

area associated with lower numbers of accidents and incidents.

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GAPS IN THE LITERATURE Current measurement tools are dissimilar and do not

adequately measure corporate safety culture.

Current measurement tools are dissimilar and do not permit benchmarking and comparisons.

Our tool/instrument proposes to address these issues by developing normative data from a variety of organizations.

MEASUREMENT OF CORPORATE

SAFETY CULTURE

MEASURE AUTHOR WEAKNESS EVIDENCE

Organizational Culture

Inventory

Cooke & Lafferty 1) Theory (unknown)

2) No statistical support

Absent of any reliability

or validity data

Denison Organizational

Culture Survey

Denison & Neale 1) Theory (measures

values, but no other

aspect of culture)

2) No statistical support

Absent of any reliability

or validity data

Safety Culture Survey Safety Performance

Solutions

1) Theory (measures

climate)

Absent of any reliability

or validity data

Safety Culture Values

and Practices

Questionnaire

Diaz-Cabrera,

Hernandez-Fernaud, &

Esla-Diaz

1) Theory (measures

values, but no other

aspect of culture)

Absent of any reliability

or validity data

Safety Culture Indicator

Scale Measurement

System

Thaden & Gibbons 1) Theory (measures

climate)

Alfa coefficients =.81-

.95

OTHER MEASURES –

NO PSYCHOMETRICS AVAILABLE

UK HSE

Multi-level Safety Climate Survey

Safety Management Questionnaire

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A PERFECT MEASURE

A review of the literature does not uncover a

complete or comprehensive measure of

corporate culture or corporate safety culture.

A perfect measure would include an evaluation of each global domain of culture.

meaning systems,

values/beliefs, and attitudes

behavioral expectations & practices

PROPOSED MODEL OF SAFETY CULTURE

Meaning

• Assumed Meaning to Individual

Values/Beliefs• Values &

Attitudes

Behavioral Expectations

• Behavioral Expectation

• Duties

Safety

Culture

DEFINITIONS

Meaning Systems: Meaning Systems are underlying mental constructions that allow for the interpretation and understanding of how daily events fall into an individual’s personal narrative.

Values/Beliefs: Values represent the fundamental moral expectations that an individual uses to appraise daily events.

Behavioral Expectations: Behavioral Expectations refers to the activities that are anticipated within the course of an individual’s employment responsibilities.

MEASURE DEVELOPMENT

Items are developed conceptually,

following an attempt to create items within

the three themes.

Items from previously validated tests can

be used and integrated into measure.

Total of item pool of 70-100 items

OUR EFFORTS

Colorado State Department of

Transportation (CDOT N=1900).

1) Participants did not hold

managerial positions.

2) Participants held high-risk jobs,

(divisions of transit and rail, or

maintenance).

Cross-validation sample obtained

from a Regional Heavy Rail

Company N=600

METHODOLOGY

• Index was administered to 1900+ CDOT employees

• 970 cases met participant criteria

• Exploratory factor analysis was completed to discover latent factors.

• Second data set obtained from a sample 0f 600+ Employees from Large Regional Rail Company

THREE COMPONENTS

Attitudes & Perceptions

Beliefs & Values

Behaviors &Practices

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THREE COMPONENTS

Attitudes & Perceptions

Beliefs & Values

Behaviors &Practices

Attitudes & Perceptions

•Focus Groups

•Questionnaires

• Interviews

Beliefs & Values

• Focus Groups

•Questionnaires

• Interview

Conduct & Behavior

Observations

Rule Books - Printed Materials

Physical infrastructure

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ASSESSMENT OF CULTURE

Culture Assessment

Takes place on three levels

Attitudes & Perceptions

Interviews and focus groups with key employees and use of survey questionnaires

Beliefs & Values

Review of written published materials as well as interviews, focus groups and survey questionnaires

Conduct & Behaviors

Observation of workplace activities and inspection of work place and equipment as well as use of survey questionnaires

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ASSESSMENT TOOLS Survey Questionnaire ( online and

paper and pencil)

Interview Format and Questions

Workplace Observation Audit

Checklist

Analysis of Initial Data and

Explanatory Rep

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KEY METHODOLOGY

Conceptual Framework

Attitudes

Behaviors

Values

Identify Sample items

Identify Sample Practices

Implementation

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Implementation Team

CEO and Safety Manager

Steering Committee

Implementation Team

Data Managers

SAMPLE PROJECT TIMELINEWeek Task Description

1 1 Meet with CEO & Project manager to agree upon scope and plan

2 Select members of internal Steering Committee

3 Select members of Industry, Labor & Advisory Committee – will

participate in pilot assessment

4 High level Conceptual Briefing with key officials

2 5 Identify potential sites for initial field study review

6 Obtain approval of sites from govt and joint steering committee

3 7 Visit several sites to conduct interviews and gather information needed

8 Visit sites

4 9 Prepare initial draft of materials for review

10 Obtain approval of assessment tools, survey & interview & observation

11 Finalize tools after feedback

5 12 Administer assessment tools to selected locations – collect data

6 13 Analyze data

7 14 Submit reports draft admin guidelines

8 15 Submit final report and guidelines for admin and interpretation

D R A F T

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OBSERVATION GUIDE

Management Commitment

Communication

Employee Involvement

Training & Information

Motivation

Compliance with procedures

Learning organization

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FACTOR ANALYSIS OF CULTURE ELEMENTS

Principle components analysis

showed three component.

Evaluation of the scree plot

revealed a separation after

the second component.

Seven components were

retained for further

investigation.

The resulting solution

explained over 64 % of the

variance. Component Number

5351494745434139373533312927252321191715131197531

Eig

enva

lue

25

20

15

10

5

0

Scree Plot

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Key Elements/Dimensions of Denver Safety Culture Tool

F1 – Management Commitment – Immediate Supervisor

- Assesses perceptions that supervisors are committed to safety as evidenced by the perception that they are encouraged to raise safety

concerns and that supervisors are engaged in in and investing time in improving safety

F2 - Personal Responsibility

- Assesses perceptions that safety is a personal responsibility which can be can be prevented by personal actions.

F3 - Peer Commitment

- Assesses perceptions that co-workers are committed to personal safety contribute to making the workplace safe.

F4 – Management Commitment – SR

- Assesses perceptions that the degree to which employees feel that senior mgmt. and the corporation is committed to employee safety.

F5 – Safety vs Productivity

- Assesses perceptions that employees believe that safety is not sacrificed for productivity and that the work area has been made as

safe as possible.

F6 – Education Focus

- Assesses perceptions regarding the extent to which the organization and the safety professionals have provided safety training and

information to assist with emp safety.

F7 – Safety Knowledge

- This scale assesses the extent to which employees understand and know how to address risks and hazards in the work environment.

F8 – Safety Rewards – (Inc)

- Assesses perceptions regarding the believe that safe work behaviors are rewarded in the organization through promotions and

performance ratings.

F9 – Accountability

- this scale assesses the extent to which employees believe that persons engaged in unsafe practices or work behaviors are held

accountable for their actions.

F10 – Safety Practices

- Assesses the extent to which employees feel that they utilize personal protective equipment and safe work practices as encouraged to

do so by their supervisors.

RELATIVE IMPORTANCE OF COMPONENTS OF CULTURERESULTS OF UNIVERSITY OF DENVER RESEARCH

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1. Management Commitment

2. Personal Responsibility

3. Peer Commitment

4. Senior Mgmt Commitment

5. Safety vs Productivity

6. Education Training Focus

7. Safety Knowledge

8. Safety Rewards

9. Accountability

10.Safety Practices

COMPARISON OF EMPLOYEES - NEAR MISS

Comparison

of individuals

who

reported a

near miss or

not.

1

2

3

4

5

No-NM

Yes-NM

Previous Research

COMPARISON OF DEPARTMENTS

COMPARISON OF CULTURE ELEMENTS

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1.0

1.5

2.0

2.5

3.0

3.5

4.0

4.5

5.0

Low

Me

d

H

igh

Safety Culture Elements by Organization

RR 2016 (N=447) RR 2017 (N=472) Ships (N=1651)

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DISCUSSION

Work continues

factors and items

related to

behavioral targets.

Improve reliability.

Validate relationship

to criterion.

THANK YOU!

http://www.leadershipsuccessfactors.com/safety/

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Patrick Sherry, Ph.D., A.B.P.P.Research Professor & Executive Director

National Center for Intermodal Transportation

University of Denver

2400 S. Gaylord, Suite 232

Denver, CO 80208

303-871-2495

patrick.sherry@du.edu

www.linkedin.com/in/patricksherryphd

www.du.edu/ncit